Good Risk Governance Pays

Good Risk Governance Pays

Investment Best Practices | Risk Management | Valuation

Monthly Archives: November 2010

Will Public Panels Enhance Financial Arbitration?

Posted in Arbitration
According to the NASDAQ web site, the Financial Industry Regulatory Authority (“FINRA”) has pledged to push for all-public arbitration panels in short order. Their stated goal is to encourage investor confidence in the way this independent regulator oversees its nearly 5,000 brokerage firms and roughly 637,000 registered securities representatives. Critics cry foul, citing the need… Continue Reading